Provide accurate and timely advice and guidance on regulatory compliance issues affecting the Corporate and Investment Banking business.
Represent Compliance in internal business meetings and committees and provide constructive and effective challenge in respect of regulatory compliance and the associated risks.
Coordinating Compliance and the business activities on regulatory change with particular focus on updates to primary market regulations including: FCA Handbook (LR), AiM Rules, Takeover Code and other relevant regulatory matters.
Assistance with the Compliance Monitoring Programme across the firm and to follow up and verify implementation of recommendations that result from each compliance testing period once the relevant report has been approved by the Compliance Officer.
Oversight & challenge of deal files, pitchbook and marketing communications – to include looking at all the documentation requirements under MIFID 2 like allocations, placing & underwriting etc. and testing it has been done correctly
Reviewing deal committee papers, ensuring that all relevant documents are received or issues raised in advance of take-on
Compliance lead on MiFID2 change for primary market activity
Work closely with the Control Room on related queries to MAR MS & inside information and chaperoning requirements.
Provision of ad-hoc support to corporate department in relation to new clients, client categorisation, conflicts of interest and due diligence.
Maintenance and drafting of primary market policies and procedures.
Other ad-hoc Compliance tasks and projects at the discretion of management.
Working closely with the business and being responsible to your internal and external clients
Working independently and being a collaborative team member to create and share your team's vision on an ongoing basis
Previous compliance experience, working within Investment Banking
Analysis of situations and exercising good judgment in structuring and organising work, setting priorities and being flexible to respond to changing demands and the company's risk profile
Self-motivated and self-aware with a commitment to ongoing personal development